Compliance Manager

  • Full Time
  • Nottingham
  • Salary Guide: £26,562 - £63,750


Apply on Website

Money Matters (Wealth Management) Ltd

The Compliance Manager reports directly to the Compliance Officer and is tasked with creating and maintaining policies to make sure the business is co... Role: Compliance Manager, Category: Strategy & Consultancy, Size: 11-50

Compliance Manager: Money Matters (Wealth Management) Ltd

The Compliance Manager reports directly to the Compliance Officer and is tasked with creating and maintaining policies to make sure the business is compliant with FCA regulations and that everything they do is within the law. You will assess the compliance of internal processes against current regulations, maintain reporting and help to advise and train staff. You are relied upon to keep on top of best practice and to ensure that the business internal policies account for any changes. You will be responsible for managing the Risk Management (RM) Team and implementation of its objectives.

Position: Compliance Manager
Location: Nottingham
Hours: Full Time
Salary Guide: £26,562 – £63,750
Last Updated: 03 August 2022
Job Category: Strategy & Consultancy

Compliance Manager Role:

A Compliance Officer, or Compliance Manager makes sure that the organisation complies with internal and external regulations. Duties include working with management and staff to identify regulatory risks and designing internal controls to ensure compliance within the organisation.

Other Duties:

  • Performing routine risk assessments to help organisations understand compliance risk, scope and significance 
  • Monitoring the organisation’s compliance with regulations and internal policies to ensure they are up to date with the relevant laws 
  • Educating employees on compliance regulations and the impact of non-compliance on the organisation 
  • Recording their findings properly and following up with management to ensure the issues are rectified 
  • Reviewing marketing materials, websites and presentations to ensure compliance with regulations 
  • Assisting in the gathering of information internally in response to requests by regulatory organisations 
  • Performing administrative tasks such as file creation and maintaining files of ongoing projects
  • Collaborating with management from other departments to ensure compliance and investigating irregularities 



Share page:

Leave a Reply